Commentary by Steven Lofchie
The House Financial Services Subcommittee on Investor Protection, Entrepreneurship and Capital Markets examined several proposed bills concerning the current exempt offering framework in private securities markets.
The CFTC issued the 2019 fee schedule for overseeing the rule enforcement programs of regulated exchanges and NFA.
The SEC granted no-action relief to a Maryland-based real estate investment trust. The relief allows the trust to repurchase shares from its shareholders.
U.S. Treasury Undersecretary for Terrorism and Financial Intelligence Sigal P. Mandelker described the evolution and strategy behind the administration's counterterrorism efforts.
North American Securities Administrators Association President Christopher Gerold will focus on compliance enforcement, private placement and Regulation Best Interest during his term.